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3 Mar 2015, 7:38 am
This disciplinary matter is not the first time FINRA has sanctioned Olson. [read post]
10 Apr 2008, 3:55 pm
It then expanded its probe nationally and reported its findings to FINRA. [read post]
6 Dec 2017, 9:53 am
For FINRA’s full findings see FINRA Case # 2016051183701. [read post]
11 Dec 2017, 1:21 pm
FINRA will also continue to monitor for timely submissions of disclosures required on Forms U4 and U5. [read post]
30 Jan 2019, 3:23 pm
FINRA is currently considering public comments to this proposal. [read post]
29 Oct 2008, 11:19 am
FINRA Issues Guidance on Broker/Dealer Obligations regarding SPACs Recently, FINRA issued Regulatory Notice 08-54, which provides guidance on the structure, trends and broker/dealer conflicts of interest associated with SPACs. [read post]
8 Feb 2013, 11:00 am
See FINRA Rule 5123. [read post]
17 Nov 2021, 7:13 am
Continue Reading › The post Aegis Capital To Pay $2.75M For Churning in FINRA Case appeared first on Investor Lawyers Blog. [read post]
3 Oct 2017, 8:13 am
(FINRA Case #2016049353501) Geraldine Gordon (CRD #2499098, Lexington, Kentucky) – An AWC (Accept, Waiver & Consent) was issued in which Gordon was fined $7,500 and suspended from association with any FINRA member in all capacities for 10 business days. [read post]
14 Sep 2017, 7:38 am
(FINRA Case #2015046087601) Christopher Robert Hickman (CRD #3267599, Boynton Beach, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Hickman was assessed a deferred fine of $5,000, suspended from association with any FINRA member in all capacities for five months, and ordered to pay $115,989.75, plus interest, in deferred restitution to customers. [read post]
10 Sep 2012, 7:40 am
FINRA Notice and Rule. [read post]
5 Jul 2012, 8:18 am
Kudos to FINRA for being willing to experiment with its arbitration forum to enhance party control over their process. [read post]
17 Jan 2012, 6:58 am
This information which is publicly available on FINRA’s website has been provided by The White Law Group, LLC. [read post]
12 Jul 2012, 5:08 am
On closer inspection, this FINRA member firm wasn'tIn response to the filing of a ... [read post]
17 Jul 2012, 6:00 am
With the approval of Rule 613, the exchanges and FINRA must jointly submit to the SEC a comprehensive plan of how they plan to develop, implement, and maintain the consolidated audit trail. [read post]
1 Jun 2011, 3:31 pm
That case is still pending, according to FINRA’s records. [read post]
5 Nov 2007, 12:31 am
FINRA now regulates both memberships. [read post]
19 Jul 2016, 10:00 am
According to FINRA’s website, Centaurus Financial recently entered in to a Letter of Acceptance, Waiver, and Consent (AWC) with FINRA. [read post]
24 Jun 2019, 2:00 pm
Flynn Barred By FINRA The clients represented in this case are not the only people harmed by Flynn. [read post]
18 Jun 2012, 7:19 am
According to a 1999 FINRA letter of interpretation, FINRA Industry Rule 13204 was to apply equally to class actions under Fed. [read post]
